Thomas J. Modzelewski

MARWOOD GROUP

New York, NY 10017

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CRD#: 4570850

Professional summary

Thomas Jude Modzelewski is a registered financial advisor currently at MARWOOD GROUP located in New York, New York.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Thomas has worked at 3 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 86, Series 87, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Jude Modzelewski's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Thomas Jude Modzelewski's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 10, 2014 - Present

MARWOOD GROUP

Office #1: 733 Third Avenue 11th Floor, New York, NY 10017Office #2: 733 Third Avenue 11th Floor, New York, NY 10017

RIA

CRD#: 117015

New York, NY

Current

August 23, 2002 - Present

MARWOOD GROUP

Office #1: 733 Third Avenue 11th Floor, New York, NY 10017Office #2: 733 Third Avenue 11th Floor, New York, NY 10017

RIA

CRD#: 117015

New York, NY

Past

May 31, 2016 - December 31, 2021

MARWOOD GROUP RESEARCH

RIA

CRD#: 147316

NEW YORK, NY

Past

August 12, 2009 - February 18, 2016

MARWOOD GROUP RESEARCH

RIA

CRD#: 147316

NEW YORK, NY

Past

January 29, 2009 - December 31, 2021

MARWOOD GROUP RESEARCH

CRD#: 147316

NEW YORK, NY

Past

December 16, 2005 - April 13, 2011

MARWOOD ALTERNATIVE ASSET MANAGEMENT LLC

CRD#: 134039

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(9/4/2002)

IAR

New York
(3/18/2021)

Oregon
(3/7/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/10/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/3/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 3/24/2005

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 3/24/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 8/22/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/29/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MARWOOD GROUP

MARWOOD GROUP | MARWOOD GROUP LLC | MARWOOD GROUP ASSET MANAGEMENT LLC

CRD#: 117015 / SEC#: , 8-53573

Connecticut

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

District of Columbia

Registered Investment Advisory firm - SEC (5/14/2004 Approved)

Illinois

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

New York

Registered Investment Advisory firm - SEC (12/2/2003 Approved)

Oregon

Registered Investment Advisory firm - SEC (12/31/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

733 Third Avenue 11th Floor, New York, NY 10017

Mailing Address

733 Third Avenue 11th Floor, New York, NY 10017

Phone number

(212) 532-3651

Established

New York since 06/06/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (4 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
MARWOOD GROUP & CO USA LLC	SHAREHOLDER
BEATON, DANIEL STEWART	FINOP	4240769
MODZELEWSKI, THOMAS JUDE	COO & CCO	4570850
MOORE, JOHN THOMAS JR	CEO	1931756

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Thomas J. Modzelewski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Jude Modzelewski's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Thomas Jude Modzelewski's CRS (Customer Relationship Summary).

Certified licenses

Experience

MARWOOD GROUP

MARWOOD GROUP RESEARCH

MARWOOD GROUP RESEARCH

MARWOOD GROUP RESEARCH

MARWOOD ALTERNATIVE ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/10/2004

Series 63

Date: 9/3/2002

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 86

Date: 3/24/2005

Series 87

Date: 3/24/2005

Series 7

Date: 8/22/2002

Series 24

Date: 3/29/2004

FINRA

Current Firm

MARWOOD GROUP

Contact information

FINRA licenses (4 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

MARWOOD GROUP

TRUST BUT VERIFY

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